RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
R•••••• D• R•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 1, 2016 · Leawood, Ks
- W••••••••• P••••••• formerJun 5, 2015 to Oct 10, 2016 · Omaha, Ne
- L•• F•••••••• L•• BD affiliatedJul 13, 2012 to Jun 4, 2015 · Omaha, Ne
- S••••••• I••••••••• S•••••••• I••• formerMay 26, 2009 to Jun 4, 2012 · Coral Gables, Fl
- W••••••••• P••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 10, 2016, registered Sep 1, 2016 (-39 days) · Other
- L•• F•••••••• L•• to W••••••••• P•••••••left Jun 4, 2015, registered Jun 5, 2015 (1 days) · Other
- S••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 4, 2012, registered Jul 13, 2012 (39 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address